Firm News

Corporate & Commercial

Recent Summary: In the last year, Lev Berlin & Sousa has counseled clients assisting
with all phases of corporate governance, from formation, to stucturing,
to restructuring, conversions, to dissolutions, for entities based in
Connecticut, New York, Delaware, and Massachusetts. Such clients include
a plastics manufacturer and supplier, an e-commerce division of a regional
pet supply retailer, a landscaping off-shoot from a well-known local nursery,
an elective surgery medical practice, a digital web technology application
company, a media company, a financial technology company, and an international
sports apparel company.

Regulatory: Lev Berlin & Sousa has recently assisted clients in leading internal
investigations to review, analyze, and determine to what level certain
of a company's officers may have been engaged in misfeasance including
usurpring opportunities of the business, in successfully counseling businesses
through issues arising with state department of labor and tax departments,
and in successfully assisting clients with inquiries relating to state
banking departments.

Trademarks: Lev Berlin & Sousa has recently counseled clients across industries
in seeking federal trademark approval (including overcoming office actions
for likelihood of confusion from the USPTO) and protection (including
preventing others from unauthorized use of clients' trademarks), such
clients ranging from a joint-venture between leaders in the market research
field, a center for public opinion research, consulting companies, manufacturers
and suppliers, apparel companies, an international survey research firm,
and local artists.

2016 Summary: Thus far in 2016, Lev Berlin & Sousa has counseled clients in closing
private securities financings, representing, underlying offering companies,
venture capital firms involved in such offerings, and lead and individual
investors subscribing to such offerings. Offering companies in such deals
include a healthcare information startup, a company involved in biotech
assessments and interventions in workers compensation and disability matters,
an atmospheric pressure plasma technology company, a real estate investment
fund, an international financial technology provider, and a regional pet
product retailer. The offerings have ranged from convertible debt bridge
financings to Series A preferred equity, to subsequent rounds of senior
preferred equity, offerings often including warrant coverage, and the
amounts of the offerings ranged from $750,000 to $4 million.

2015 Summary: Lev Berlin & Sousa counseled clients in closing over a dozen private
securities financings in 2015, with representation ranging from the underlying
offering company, venture capital firms investing in such offerings, and
lead and individual investors subscribing to such offerings. Underlying
companies making such offerings ranged from a nautral holistic pet care
and animal health products company, real estate development companies,
a company involved in biotech assessments and interventions in workers
compensation and disability matters, a digital media company, an atmospheric
pressure plasma technology company, and a regional pet product retailer.
The offerings ranged from convertible debt bridge financings to Series
A preferred equity, to subsequent rounds of senior preferred equity, offerings
often including warrant coverage, and the amounts of the offerings ranged
from $500,000 to over $5 million.

July 2015: Lev Berlin & Sousa represents leading conversation market research
comapny client in triangular reverse merger with a Canadian publicly held
company which valued our client at more than $5 million USD.

2014 Summary: Lev Berlin & Sousa counseled clients in closing more than ten private
securities financings in 2014, with representation ranging from the underlying
offering company, venture capital firms investing in such offerings, and
lead and individual investors subscribing to such offerings. The offerings
ranged from convertible debt bridge financings to Series A preferred equity,
to subsequent rounds of senior preferred equity, offerings often including
warrant coverage, and the amounts of the offerings ranged from $500,000
to over $5 million. Underlying companies making such offerings ranged
from a digital media company, a software provider, a regional pet product
retailer, real estate developers (in New York and Connecticut), a market
research consulting company, an atmospheric pressure plasma technology
company, a renewable energy company relating to tax credits for solar
panel equipment lease and installations, a bio-pharmaceutical development
company, and a company involved in high-end boarding, day care and grooming
facilities for dogs and cats.

February 2014: Lev Berlin & Sousa issues memorandum discussing the recent ruling by
the Securities Exchange Commission's Division of Trading and Markets
granting no-action relief to "M&A Brokers" that engage in
certain activities in connection with the purchase or sale of privately-held
companies from the broker-dealer registration requirements of Section
15(b) of the Securities Exchange Act of 1934, as amended.

October 2013: Jack Sousa represents founders and majority shareholders of web-based software
design, development and consulting company in stock sale in excess of
$2 million to private company in the healthcare industry.

May 2013: Lev Berlin & Sousa represented the purchasers of a regional specialty
retailer in a stock purchase transaction and associated debt and equity
financing of approximately $10 million.

April 5, 2013: Lev Berlin & Sousa negotiates and closes asset deal on behalf of its
client, a real-time weather forecasting company, which sold its assets
to a design and manufacturing company involved in the airline industry.

Recent Wall Street Journal article highlighting the difficulties the public
opinion industry is encountering in conducting telephone surveys quotes
Duane Berlin, general counsel of the Counsil of American Survey Research
Organizations, about the federal consumer telephone regulations, known
as the TCPA.

October 2014: Lev Berlin & Sousa represents international survey research company
in three-party data-matching arrangement, including data processing agreement
and consent/privacy policy compliance.

October 2014: Lev Berlin & Sousa represents international survey research company
in licensing arrangement to provide proprietary SaaS survey offering on
a “white label” basis to international market research firm
for sublicensing to the firm’s clients.

September 2014: Lev Berlin & Sousa represents software development employee of shipping
company with independent commercial arrangement for sale of software,
including negotiation of employer company approval and third-party software
provider licensing and sales agreement.

September 2014: Lev Berlin & Sousa advises major market research industry association
on setting up US-EU and US-Swiss Safe Harbor third-party dispute resolution
program, including review of form agreements with clients and agreement
with subcontractor.

September 2014: Lev Berlin & Sousa represents textile chemical application company
on form of license agreement.

August 2014: Lev Berlin & Sousa represents chapter of national survey research organization
on incorporation and IRS approval of tax treatment as 501(c)(6) non-profit
corporation.

August 2014: Lev Berlin & Sousa advises international survey research firm on trademark
issues regarding web-based use of brand name for SaaS offering.

August 2014: Lev Berlin & Sousa advises international media analysis and monitoring
firm in revisions to its form of master services agreement to account
for copyright issues.

August 2014: Lev Berlin & Sousa advises international market research firm in negotiation
of master services agreement with major U.S. health care insurer, including
regulatory issues related to HIPAA.

July 2014: Lev Berlin & Sousa advises major survey research industry organization
on issues regarding state statute requiring reporting of fees paid to
health care professionals in the context of market research and related
pre-emption under the federal Physician Payments Sunshine Act.

June 2014: Lev Berlin & Sousa represents influential economic survey research
company in services agreement with "big three" major television network.

June 2014: Lev Berlin & Sousa represents major survey research company in successful
opposition to claim asserting violations of Telephone Consumer Protection Act.

2016 Summary: Thus far in 2016, Lev Berlin & Sousa has closed over a dozen real estate
transactions for its clients, including sales, purchases, and refinancings,
for residential houses, condominiums, multi-family, and commercial properties.
Properties have spanned Greenwich, Stamford, Norwalk, New Canaan, and
Wilton, Connecticut for purchase prices ranging from under $500,000 to
$1.2 million.

October 2016: Lev Berlin & Sousa represents client in the sale of multiple historic
properties at the top of Greenwich Avenue in Greenwich, Connecticut, in
combination residential and commercial real estate transaction, for a
combined aggregate sale price of approximately $19 million.

May 2016: Lev Berlin & Sousa represents local bank in several recent refinancings
for various properties in Norwalk, Connecticut, including residential,
commercial, real estate for non-profit organization, and condominiums.

March 2016: Lev Berlin & Sousa represents client in the sale of commercial property
at the top of Greenwich Avenue in Greenwich, Connecticut for $5.75 million.

2015 Summary: Lev Berlin & Sousa closes real estate transactions for its clients
in 2015 for purchases, sales, and refinancings of residential homes, commercial
properties, and condominiums in Norwalk, Stamford, Greenwich, and Bridgeport,
for properties ranging from under $500,000 to $4 million.

2014 Summary: In 2014, Lev Berlin & Sousa oversees residential and commercial real
estate closings, both purchases and sales, as well as negotiates and enters
into refinancing and commercial leases, for homes, office space, and condominium
units, for clients in locations including Stamford, Norwalk, Wilton, New
Milford, Greenwich, New Jersey, Bridgeport, and North Salem NY, with residential
purchases ranging from under $1 million to nearly $2.5 million.

September 30, 2016: Lev Berlin & Sousa is pleased to announce that Jack H. Sousa, Esq.
has been named a Principal of the firm. Having joined the firm in 2012,
Jack’s experience spans across the firm’s client base and
practice areas, with a specific area of focus on business, corporate,
securities, and financing work, as well as intellectual property, commercial
and residential real estate, and executive employment.

August 15, 2016:

Lev Berlin & Sousa is pleased to announce the introduction of Colin
B. Simmons, Esq. as an associate attorney of the firm.

Colin, a graduate of Bates College (2002) and Brooklyn Law School (2008),
joins us after having spent several years as in-house counsel at both
the Royal Bank of Scotland and, most recently, on the contracts &
counsel team at Sikorsky Aircraft.

Colin lives in Monroe, Connecticut with his wife and three children.

May 26, 2015:

CBRE General Counsel discusses with Law360 the influence that Lev Berlin
& Sousa counsel and founder Bruce Lev had on his career.

January 2011: Duane L. Berlin has been elected to the Board of Directors of The Roper
Center for Public Opinion Research (www.ropercenter.uconn.edu). The Roper
Center is one of the world's leading archives of social science data,
specializing in data from surveys of public opinion. The data held by
the Roper Center range from the 1930s, when survey research was in its
infancy, to the present. Most of the data are from the United States,
but over 50 nations are represented. Founded in 1947, the Roper Center
for Public Opinion Research is the leading educational facility in the
field of public opinion. The Center exists to promote the intelligent,
responsible and imaginative use of public opinion in addressing the problems
faced by Americans and citizens of other nations. In an increasingly complex
and interdependent global environment, the Roper Center hopes to foster
increased international understanding and to promote cross-national research.

December 2010: Principal, Duane L. Berlin named in the 2010 edition of the New Canaan/Darien
and Stamford Magazines Top Lawyers.

August 2010: Duane L. Berlin is co-founding member of CASRO’s Social Media Research
Task Force. CASRO announced the formation and purpose of the group as
follows: To address the many ethical and methodological issues developing
in the wake of social media research’s emergence, CASRO has established
a task force charged with defining salient topics and soliciting industry-wide
commentary with an eye on crafting guidelines that may potentially be
included within
The CASRO Code of Standards & Ethics.

The information on this website is for general information purposes only.
Nothing on this site should be taken as legal advice for any individual
case or situation. This information is not intended to create, and receipt
or viewing does not constitute, an attorney-client relationship.

Lev Berlin & Sousa
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Business Counsel for the New Economy Located at
200 Connecticut Avenue , Norwalk, CT. 06854